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Date Last Verified
Years of Experience
ProfileSenior Paralegal - Mutual Funds The candidate will support the Attorneys in the provision of Board governance, regulatory and SEC disclosure services to proprietary and/or third-party mutual fund clients. Involvement in all aspects of planning, preparation and execution of Board and Committee meetings, including drafting and reviewing meeting calendars, production schedules and responsibility matrices. Draft mutual fund Board and Committee meeting materials, including agendas, meeting notices, cover letters, resolutions, minutes and other governance documentation. Assist in addressing comments and questions on Board materials from fund and in-house counsel, auditors, and other reviewers. Prepare and maintain Board and regulatory calendars. Support the preparation and editing of investment company regulatory filings (including prospectuses, statements of additional information, financial statements, proxy materials, Form N-Q, Form N-CSR, Form N-CEN, Form N-SAR, Form N-CR, Form N-PX, Form 24f-2, etc.) with the SEC. Assist with the completion of annual updates to registration statements. Maintain the groupâ€™s record retention program, including all electronic and hard storage, both on- and off-site. Support the annual review and renewal of fund fidelity bond and directorsâ€™ and officersâ€™ insurance policies, as requested. Perform research on issues regarding the Investment Company Act of 1940 and other mutual fund regulations, as needed. Assist on SEC regulatory examinations and inquiries as necessary.
Qualification and Experience
The candidate should preferably have understanding of the mutual fund industry and the laws that govern its activities. Experience working for a mutual fund organization (adviser or otherwise), a mutual fund administrator or service provider, the investment management practice of a law firm or with the SEC or other regulatory agency is preferred. Ability to establish good working relationships with clients, members of Boards of Trustees, fund counsels, chief compliance officers, auditors and financial printers is required. Strong project management and time management skills are a must. Excellent oral and written communication skills are required. Advanced proficiency with Microsoft Office (Outlook, Word, Excel, and PowerPoint) is needed.
Northern Trust Corporation
50 South La Salle Street
Chicago, IL 60603